About the role

Role Overview

The Compliance Analyst will learn and apply securities industry rules, regulations, and laws to help client investment advisory firms build compliant policies and procedures. After training, you function as a compliance consultant supporting clients with regulatory obligations and best-path recommendations.

Responsibilities

Update regulatory filings
Review email and advertising communications for compliance with state and federal regulations
Assist in preparation and review of compliance manuals and investment adviser documentation
Participate in ongoing reviews of investment adviser activities
Communicate with clients about regulatory obligations and deadlines
Support attorneys with team-based compliance work

Requirements

Bachelor’s degree
1–3 years of experience in Financial Services (e.g., BD, RIA, product company, or regulator)
Securities registrations (any listed): Series 6, 7, 24, 63, 65, or 66 (for 1–3 years’ time)
Strong written and verbal communication skills with concise articulation
Attention to detail, organization, and time management
High integrity and respect for confidential/sensitive information
Ability to work independently with minimal supervision
Self-starter mindset with problem-solving and a positive attitude

Nice-to-Haves / Additional Notes

Works well in a fast-paced, relaxed environment
Comfortable with frequent computer work and some in-person meetings

Work Environment & Schedule

Remote work with flex-time between 6am and 6pm, Monday–Friday
Some in-person meetings required
Eligible states for remote candidates: Alabama, Colorado, Connecticut, California, Florida, Indiana, Massachusetts, Minnesota, Nevada, North Carolina, Texas, Washington

Compensation & Benefits

Base salary: $50,000/year plus potential commission opportunities
15 days PTO per calendar year + 10 market holidays
Health insurance options with HSA/FSA
Discretionary performance bonuses
401(k) with employer match (eligibility after 1 year)
No-cost gym membership
Flexible work hours

About AdvisorLaw

AdvisorLaw provides nationwide representation to financial advisors and wealth managers. The firm focuses on advocating for advisors’ interests, including reporting, dispute disclosure support, compliance-related matters, and helping firms avoid regulatory penalties such as FINRA fines, suspensions, and license revocations.

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